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Nine Persons Charged by SEC in EDGAR Hacking and Illicit Trading Scheme; Two Persons Additionally Named in Criminal Indictment
  • Katten Muchin Rosenman LLP
  • USA
  • January 20 2019

The Securities and Exchange Commission filed a civil lawsuit against Oleksandr Ieremenko and eight other persons for allegedly conducting an illegal


Canadian Regulatory Organization Also Emphasizes Digital Assets and Cybersecurity in Latest Priorities Report
  • Katten Muchin Rosenman LLP
  • Canada
  • January 20 2019

The Investment Industry Regulatory Organization of Canada previewed areas of likely regulatory attention in 2019 based on issues identified


Review of Anti-Money Laundering and Sanctions Policy and Enforcement
  • White & Case LLP
  • USA
  • January 18 2019

This anti-money laundering and sanctions review provides an overview and insights with respect to material developments in the United States


NFA’s Amended Cybersecurity Guidance Includes New Incident Reporting Requirement
  • Baker & Hostetler LLP
  • USA
  • January 17 2019

Following other regulators, the National Futures Association (NFA) recently amended its cybersecurity guidance to, among other things, impose a new


NFA Sets April 1 as Compliance Date for New ISSP Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • January 13 2019

The National Futures Association's recently proposed amendments to its 2016 interpretive notice on Information Systems Security Programs will be


Data Privacy in a Post-Murphy Landscape
  • O'Melveny & Myers LLP
  • USA
  • January 7 2019

This alert is the sixth in a series of alerts discussing updates and potential developments in light of the Supreme Court’s decision in Murphy v


Court Upholds SEC Authority and Finds Broker-Dealer Liable for Thousands of Suspicious Activity Reporting Violations
  • Paul Weiss
  • USA
  • January 7 2019

On December 11, 2018, the Securities and Exchange Commission (SEC) obtained a victory in its enforcement action against Alpine Securities Corporation


Related Broker-Dealers Fined US $15 Million by the SEC, FINRA and FinCEN for Alleged AML Program Deficiencies; Unrelated BD Fined US $5.5 Million for Purportedly Selling IPOs to Industry Insiders
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2019

UBS Financial Services Inc. and UBS Securities LLC (collectively, "UBS"), registered broker-dealers, agreed to pay a total of US $15 million in fines


Offer and Sale of Digital Assets and Cybersecurity Among the Focus of SEC OCIE 2019 Examination Priorities
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2019

In its annual report of examination priorities issued in late December 2018, the Securities and Exchange Commission's Office of Compliance


Prosecutors and Regulators Deliver Year-End AML Messages to Broker-Dealers
  • King & Spalding LLP
  • USA
  • January 4 2019

While many of us were winding down the year focused on the December holidays, the U.S. Department of Justice, the SEC, FINRA, and FinCEN were busy